|
|
Home | Jobs |
Fast Answers | Site Map | Search
|
|
||
|
|
||||
|
|||||
|
|
||||
|
|||||
|
ALJ Decisions & Orders:
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 155 | Dec. 17, 1999 | Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley; Herbert Grossman, Administrative Law Judge
File Nos. 3-9688 and 3-9794 Note: Erratum (File name: id155a.htm); Opinion) |
| 154 | Dec. 8, 1999 | Ronnie R. Neihart;
Robert G. Mahony, Administrative Law Judge File No. 3-9982 (Note: Finality Order) |
| 153 | Oct. 29, 1999 | County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge
File No. 3-9542 (Note: Finality Order) |
| 152 | Oct. 28, 1999 | George J. Kolar;
James T. Kelly, Administrative Law Judge File No. 3-9570 (Note: Opinion) |
| Third Quarter | ||
| 151 | Sep. 30, 1999 | Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg;
Carol Fox Foelak, Administrative Law Judge File No. 3-9099 |
| 150 | Sep. 27, 1999 | Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.;
Lillian A. McEwen, Administrative Law Judge File No. 3-9309 (Note: Order granting reconsideration and dismissing proceeding; Opinion) |
| 149 | Sep. 21, 1999 | Seaboard Investment Advisers, Inc. and Eugene W. Hansen;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9725 (Note: Opinion) |
| 148 | Sep. 21, 1999 | Sandra Simpson and Daphne Pattee;
Robert G. Mahony, Administrative Law Judge File No. 3-9458 (Note: Opinion) |
| 147 | Aug. 6, 1999 | John J. Kenny and Nicholson/Kenny Capital Management, Inc.;
Stephen L. Grossman, Administrative Law Judge File No. 3-9611 (Note: Erratum (File name: id147a.htm); Opinion) |
| 146 | Aug. 2, 1999 | Certain Broker-Dealers who failed to file all or part of Form BD-Y2K;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9759 (Note: Finality Order; Opinion) |
| 145 | Jul. 26, 1999 | Alfred Avasso and Robert Schulman;
Robert G. Mahony, Administrative Law Judge File No. 3-9162 (Note: Finality Order) |
| 144 | Jul. 22, 1999 | Fu-Sung Peter Wu;
Lillian A. McEwen, Administrative Law Judge File No. 3-9024 (Note: Opinion) |
| Second Quarter | ||
| 143 | Jun. 9, 1999 | D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, and Duncan E. Wine;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8543 |
| 142 | May 6, 1999 | Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge
File No. 3-9439 (Note: Finality Order) |
| 141 | Apr. 12, 1999 | Quest Capital Strategies, Inc., and David Chen Yu;
Lillian A. McEwen, Administrative Law Judge File No. 3-8966 (Note: Opinion) |
| 140 | Apr. 1, 1999 | Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9218 (Note: Opinion) |
| First Quarter | ||
| 139 | Mar. 30, 1999 | Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anvar Latef, and Larry Alan Stockett;
G. Marvin Bober, Administrative Law Judge File No. 3-9374 (Note: Finality Order; Opinion) |
| 138 | Mar. 24, 1999 | Nicholas P. Howard;
Carol Fox Foelak, Administrative Law Judge File No. 3-8873 (Note: Opinion) |
| 137 | Mar. 5, 1999 | Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones;
Robert G. Mahony, Administrative Law Judge File No. 3-9201 (Note: Opinion) |
| 136 | Mar. 2, 1999 | Russo Securities, Inc., Patrick Russo, and Kimberly Kent;
G. Marvin Bober, Administrative Law Judge File No. 3-9484 (Note: Opinion) |
| 135 | Jan. 28, 1999 | Abraham and Sons Capital, Inc. and Brett G. Brubaker;
Robert G. Mahony, Administrative Law Judge File No. 3-9448 (Note: Opinion) |
| 134 | Jan. 7, 1999 | Alfred M. Bauer and J.Stephen Stout;
Carol Fox Foelak, Administrative Law Judge File No. 3-9034 (Note: Opinion) |
http://www.sec.gov/litigation/aljdec/aljdecarchive/aljdecarc1999.shtml
| Contact | Employment | Links | FOIA | Forms | Privacy | Modified: 12/18/2007 |
